OSC - Key Persons
Job Titles:
- Trading Specialist, Market Regulation
Angela Salmon is a securities lawyer and financial services professional with over 18 years of legal, risk and regulatory experience. In progressively more senior roles at the Royal Bank of Canada (RBC), Angela has provided extensive support and expertise on seniors' initiatives and complex senior client escalations. She also established a Seniors and Vulnerable Client working group that reviews and monitors regulatory developments with a view to developing and implementing policies, guidance and staff training in support of senior and vulnerable investors.
Job Titles:
- Head of Digital Platforms
Arthur Fish is a former partner in the tax group of Borden Ladner Gervais LLP and Manager of the Toronto Regional Family Wealth Counsel Practice. He has more than 25 years of experience working with elderly clients in both the public and private sectors and has deep expertise in issues related to mental capacity and estate planning. He previously worked with the Mental Competency Clinic at the Baycrest Centre for Geriatric Care, served as Chair of the Ontario Mental Health Foundation, and was a member of the Consent and Capacity Board.
Job Titles:
- Chairman
- Chief Accountant
- Chief Accountant, Office of the Chief Accountant
Job Titles:
- Manager, Outreach & Engagement
Job Titles:
- Investor Economics - ISS Market Intelligence
Job Titles:
- Legal Counsel, Corporate Governance
Job Titles:
- Manager, Inclusion and Diversity
Job Titles:
- Board Director
- Chairman of the Governance and Nominating Committee
- Member of the Risk Committee
Cindy Tripp has 30-years of experience in financial services in both Canada and the U.S. and was one of the founding partners of GMP Securities L.P. (formerly Griffiths McBurney and Partners). She held the position of Managing Director, Co-Head Trading where she had oversight of institutional trading, retail trading, securities lending, foreign exchange and risk management.
Ms. Tripp has a practical understanding of the impact of regulation on Canadian broker dealers and their clients - issuers and investors. She was a member of the Capital Markets Modernization Taskforce, which delivered its final report in January 2021 to the Minister of Finance. The report included 67 recommendations that drive innovation, competition, diversity and growth in Ontario.
She is a former Director of Avante Logixx, former Chair of the Board of Governors of the Bishop Strachan School, a Director of the Georgian Bay Land Trust, and a former Director of Toronto Financial Services Alliance (renamed Toronto Finance International).
Job Titles:
- Co - Chair )
- Senior Geologist, Corporate Finance
Job Titles:
- Board Director
- Chief Executive Officer
- Chairman of the Policy Coordination Committee of the Canadian Securities Administrators
- Senior Leader
Grant Vingoe is the first dedicated Chief Executive Officer of the Ontario Securities Commission (OSC). He previously served as both Chair and CEO of the OSC before the roles were separated with the proclamation of the Securities Commission Act, 2021 on April 29, 2022. He continues to serve as a member of the OSC's Board of Directors.
Grant is Chair of the Policy Coordination Committee of the Canadian Securities Administrators (CSA), the umbrella organization for securities commissions in Canada, and is a member of the board of directors of the International Organization of Securities Commissions (IOSCO). He is also the Chair of the Joint Regulators Committee responsible for the CSA's oversight of the Ombudsman for Banking Services and Investments.
Grant is a senior leader and trusted adviser for regulatory agencies and, during his career as a partner in leading global law firms, for issuers and financial services clients. He has extensive cross-border expertise in securities law and deep knowledge of financial markets.
Grant holds a J.D. from Toronto's Osgoode Hall Law School and an LL.M. from the New York University School of Law. He was admitted to the bar in Ontario in 1983 and in New York in 1985.
Job Titles:
- Senior Hearings Registrar
Job Titles:
- President and CEO, Canaccord Genuity Group Inc
Job Titles:
- Manager, Enterprise Architecture
Job Titles:
- Senior Accountant, Compliance & Registrant Regulation
Job Titles:
- Manager, Application Services
Job Titles:
- Vice - President, Compliance and Chief Compliance Officer at IG Wealth Management
Danielle Tetrault is the Vice-President, Compliance and Chief Compliance Officer at IG Wealth Management. In these roles, Danielle leads a Seniors and Vulnerable Clients Working Group that responds to escalations involving senior or vulnerable client issues, reviews and monitors regulatory developments, industry trends and best practices to develop and implement policies, procedures, education and training resources to better serve and protect senior and vulnerable clients. She is a member of the North American Securities Administrators Association (NASAA) Advisory Committee to the Senior Issues Committee and a former member of the Investment Funds Institute of Canada (IFIC)'s Vulnerable Investors Task Force.
Job Titles:
- Baskin Financial Services
Job Titles:
- Chief Administrative Officer
Job Titles:
- Chairman
- Director
- Director, Compliance & Registrant Regulation
Job Titles:
- Manager, Specialized Dealer Team
Job Titles:
- Board Director
- Member of the Audit and Finance Committee
- Member of the Governance and Nominating Committee
Dieter Jentsch is a former senior executive at Scotiabank and has spent 35 years as a banker in Corporate Banking, Capital Markets, Commercial & Retail Banking in Canadian and international markets. While being part of the bank's operating committee, he served as Group Head of Global Banking and Markets and prior, as Group Head of International Banking.
In addition to extensive global operating experience in many diverse banking businesses in Canada, the U.S., Asia, Europe, South America and the Caribbean, Mr. Jentsch held senior oversight responsibilities for operating & regulatory risk, conduct and compliance frameworks in those markets.
He presently serves as a corporate director on various public and non-public boards including the Jim Pattison Group, Canfor Corp. Canfor Pulp Products Limited, Mineros S.A and the Vineland Research & Innovation Centre.
Mr. Jentsch holds a Bachelor of Science degree in Agriculture and a Master of Business Administration degree, both from the University of British Columbia. He also holds a diploma from the Advanced Management Program from the European Institute of Business (INSEAD) and a diploma from the University of Toronto's Rotman - ICD Directors Education program.
Job Titles:
- Manager, Quality Assurance
Job Titles:
- Board Director
- Chairman of Human Resources and Compensation Committee
- Chairman of the Governance and Nominating Committee
- Member of the Risk Committee
- President of the BEworks Research Institute
Dr. David R. Lewis worked in the wealth management industry in Canada and the United States for many years as a C-level executive, board member, and board chair at firms including Scotiabank, UBS Financial Services, UBS Bank USA, and Barclays Wealth Management.
Currently, Dr. Lewis is President of the BEworks Research Institute where he conducts and publishes applied behavioural economics research on financial decision making. Prior to joining BEworks, he was Assistant Professor of Retail Management at the Ted Rogers School of Business. Dr. Lewis also taught at the Lazaridis School of Business and Economics at Wilfrid Laurier University while completing his PhD in marketing with a focus on consumer behaviour. His doctoral research considered consumer decision making regarding investing and financial advice.
Dr. Lewis holds a BA from Western University, an MBA in Finance and Strategy from the Schulich School of Business at York University, and a PhD from the Lazaridis School of Business and Economics at Wilfrid Laurier University. He is also a Chartered Financial Analyst (CFA).
Job Titles:
- Managing Director and Founder of Health Innovations Group
Dr. Joe Bornstein is the Managing Director and Founder of Health Innovations Group. He is a recognized leader in aging and geriatrics with a strong focus on issues related to aging, healthy retirements and prevention of elder abuse. Dr. Bornstein is a Past-President of the Ontario Gerontology Association and has served on the boards of the Toronto Regional Geriatric Program and the Oshawa Senior Citizens Centres and is Past Chair of Elder Abuse Ontario. Dr. Bornstein has conducted multiple planning and evaluation projects focused on improving programs for older adults.
Dr. Julia Spaniol is a Professor in the Psychology Department of Toronto Metropolitan University (TMU), where she directs the Memory and Decision Processes Lab and holds the Canada Research Chair in Cognitive Aging. She has over 20 years of experience studying age differences in the cognitive and affective processes involved in decision-making, with a focus on both neurobiological and behavioural mannerisms.
Job Titles:
- Deputy Director, Registrant Conduct
Job Titles:
- Manager, Portfolio Manager Team
Ellen Bessner is a Partner with Babin Bessner Spry LLP with over 25 years' experience specializing in securities litigation. In addition to her work as a litigator, Ellen is the author of Advisor at Risk: a roadmap to protecting your business, and its sequel Communication at Risk: how to bridge the client-advisor gap to protect and grow your business. Ellen has extensive experience and expertise in advising registrants on working effectively with older investors. Ellen also regularly provides training and educational programs on a range of liability, ethics and compliance issues for advisors including the risks faced by vulnerable clients and how to help reduce that risk.
Job Titles:
- Head of Analytics and Data Solutions
Job Titles:
- Deputy Director, Compliance & Registrant Regulation
- Deputy Director, Operations
Job Titles:
- Corporate Secretary
- Director
Job Titles:
- Board Director
- Chairman of the Audit and Finance Committee
- Member of Human Resources and Compensation Committee
- Member of the Governance and Nominating Committee
- Member of the Risk Committee
- Member at York University
- Senior Corporate Director and Chief Executive Officer
Hari Panday is a senior corporate director and chief executive officer. He founded ICICI Bank in Canada and led the full-service on-line bank and its securities and wealth management subsidiaries in Canada and the US. Mr. Panday has spent more than 38 years in financial services, restructuring experience in diversified industries, supplemented by external, internal and IT audit, and for-profit and not-for-profit board directorship experience. He is a Fellow, CPA, GCA and certified director in the U.S. and Canada, with NACD, Washington, DC, and ICD Canada, respectively.
Mr. Panday's current board memberships include as: (a) Chair of a Designated Administrative Authority (previously: Chair, Audit Comm. and Vice-Chair, Investment Comm.); (b) Director, Governance Comm. a professional liability insurance co.; (c) Chair, Gov. Comm. and Member, Audit & Finance Comm., Ontario's largest credit union; and (d) Chair, Corp. Gov. Comm., an independent investment firm. Prior for-profit board memberships have included: a rare earth exploration company (TSX/NYSE); Canadian Securities Exchange; ICICI Bank Canada, ICICI Wealth Management (Ont.); ICICI Securities (USA) - parent ICICI Bank Ltd. (BSE/NYSE); Chair, Audit Committees, of a trust company in Quebec (AMF regulated) and Canada (OSFI regulated).
Mr. Panday is a faculty member at York University, teaching accountability and corporate governance. In the not-for-profit segment he is currently the Honorary Colonel, 32 Service Battalion, Canadian Armed Forces and he serves on CPA Canada's Corporate Oversight and Governance Advisory Board (COGB). In 2012, he received The Queen Elizabeth II Diamond Jubilee Medal.
Job Titles:
- Assistant Manager, Inquiries & Contact Centre
Job Titles:
- Manager, Branch Operations and Data Strategy
Jennifer Aronson is a Registered Social Worker and clinical practitioner with over 20 years' experience, including in the field of Geriatrics. She has expertise is geriatric care, aging and caregiving issues. Jennifer has an extensive background working with and identifying and advising on the needs of older adults and their families and educates professionals in the legal and financial communities about the challenges seniors face, including vulnerability to financial exploitation.
Job Titles:
- Board Director
- Member of Human Resources and Compensation Committee
- Member of the Audit and Finance Committee
- Member of the Governance and Nominating Committee
- Investment Professional
Jennifer Fang is an investment professional and business leader with more than 25 years of international experience with General Motors of Canada, JP Morgan & Chase, BMO Financial Group and PwC Canada in New York and Toronto. Ms. Fang advises public and private companies, institutional investors, and family offices as one of few seasoned business executives with deep insights, experiences and networks in both the Asia Pacific and Western markets. She has in-depth experience and knowledge of corporate finance & strategy; mergers & acquisitions; private equity; capital markets and corporate governance.
Ms. Fang was a board director for a TSX-listed mining company where she chaired its audit committee and sat on the compensation committee. She is also a past board director at Providence Healthcare Foundation, and went through the amalgamation of St. Michael's, St. Joseph's Hospitals, and Providence Healthcare to form Unity Health Toronto, the largest Catholic Healthcare network in Canada. Ms. Fang is currently a Provincial appointee at York Region Police Services Board, and she is also a member of the Faculty Advisory Board, at Sauder Business School of University of British Columbia.
Ms. Fang is a graduate of Peking University (BA in International Economics) and has an MBA degree from the University of British Columbia majoring in finance. Jennifer is also a CFA charterholder and has the ICD.D designation.
Job Titles:
- Founder of Age Well Solutions
Jennifer Moir is the founder of Age Well Solutions, which provides expert advice and service delivery to aging clients and families as they face difficult later life changes and choices. Age Well Solutions is also a leader in delivering competency based training for financial service professionals, with particular focus on service excellence, dementia-friendly training, practice policy and protocols and intergenerational engagement. Jennifer brings more than 25 years of experience in both the financial service and eldercare sectors and leads a highly qualified and committed team. She is a Certified Health Specialist, Certified Senior Relocation and Transition Specialist, and Elder Planning Counselor.
Job Titles:
- Deputy Director, Case Management
Job Titles:
- Manager, Regulatory Economics
Job Titles:
- Corporate Finance
- Senior Accountant
Job Titles:
- Associate
- Chief Human Resources Officer
Job Titles:
- Canadian Accounting Standards Board
Job Titles:
- Manager, Strategic Planning & Reporting
Job Titles:
- President of Kenmar Associates
Ken Kivenko is the President of Kenmar Associates, an investor advocacy organization, and is a prominent investor advocate with a focus on seniors' issues. Ken hosts a blog on his website, CanadianFundWatch.com, which informs and educates investors on investor protection issues. He is a regular contributor to regulatory consultations and commenter on regulatory effectiveness from the retail investor perspective.
Job Titles:
- Board Director
- Chairman
- Member of Human Resources and Compensation Committee
- Member of the Governance and Nominating Committee
- Financial Services Executive
Kevan Cowan is a financial services executive with more than 30 years of experience in capital markets operational, regulatory and policy matters. He has been a key participant in the transformative changes occurring in Canadian capital markets over that time.
Mr. Cowan is the past Chief Executive Officer of the Capital Markets Authority Implementation Organization, where he worked on behalf of nine Canadian governments leading the development of a pan-Canadian securities regulatory authority. Prior to that, Mr. Cowan was President of TSX Markets, responsible for the equities business of the TMX Group, including the Toronto Stock Exchange, TSX Venture Exchange, Alpha Trading, TMX Select and related services. He is also a past President of the TSX Venture Exchange. Mr. Cowan was previously a partner in a large Canadian law firm, practicing corporate and securities law.
Mr. Cowan has served on many boards and in advisory roles, including with the Toronto Financial Services Alliance / Toronto Finance International (Chair of the Board), the Investment Industry Regulatory Organization of Canada (Board member), the Ontario Capital Markets Modernization Taskforce Expert Advisory Group, the Calgary Economic Development Investment Advisory Committee, and the Ontario Securities Commission Small Business Advisory Committee.
Mr. Cowan holds a B.A. from the University of Toronto, an LL.B. from Osgoode Hall Law School, and the ICD.D designation from the Institute of Corporate Directors.
Job Titles:
- Shareholder Association for Research & Education
Job Titles:
- Manager, Research and Analytics
Job Titles:
- Manager, Organizational Development
Job Titles:
- Founding Partner
- Partners
Kimberly Whaley is the founding partner of Whaley Estate Litigation partners, a dispute resolution and boutique trust and estate firm. She is designated as a Certified Specialist in Estates and Trusts Law by the Law Society of Ontario. Kimberly serves as Civilian Co-Chair on a Toronto Police Services Consultative Committee on Abuse of Older and Vulnerable Persons, has been consulted on policy and reform under various governmental initiatives, and is a Distinguished Fellow of the Canadian Center for Elder Law.
Job Titles:
- Head of Media and Domestic Affairs
Job Titles:
- Director of Government Relations and Public Policy With the Alzheimer Society of Ontario
Kyle Fitzgerald is the Director of Government Relations and Public Policy with the Alzheimer Society of Ontario. He has worked on initiatives involving legislative and regulatory change for the benefit and protection of people living with dementia and care partners, and initiatives to foster a more dementia-friendly financial services environment, including reducing financial elder abuse. Kyle is also a member of the board of the Ontario Caregiver Coalition.
Job Titles:
- Manager, Knowledge Services
Laura Tamblyn Watts is the CEO of CanAge, Canada's national seniors' advocacy organization. She currently teaches at the University of Toronto where she is also a Fellow of the Institute for Life Course and Aging. She serves on the Boards of the Canadian Investment Regulatory Organization (CIRO), the National Initiative for the Care of the Elderly, Elder Abuse Prevention Ontario and PACE Independent Living. A lawyer, Laura is a past Chair of the Canadian Bar Association's National Elder Law section, where she currently serves as an Executive Member.
Job Titles:
- Manager, Modernizing Regulation
Job Titles:
- Chairman
- Manager
- Manager, Corporate Finance Branch
Job Titles:
- Managing Director and Chief Compliance Officer at Rogan Investment Management Limited
Lindsay Rogan is the Managing Director and Chief Compliance Officer at Rogan Investment Management Limited where she has worked for 25 years with senior clients and their families dealing with planning, trust, estate, and tax issues. She is a Certified Financial Planner and a member of the Portfolio Management Association of Canada Practices and Standards Committee.
Job Titles:
- Chief Human Resources Officer and Director, Corporate Services
Job Titles:
- Accountant, Corporate Finance Branch
Job Titles:
- Associate
- Chief Accountant
Job Titles:
- Manager, Records and Information
Job Titles:
- Chief Executive Officer of Elder Abuse Prevention Ontario
Marta C. Hajek is the Chief Executive Officer of Elder Abuse Prevention Ontario (EAPO), a provincial, charitable, non-profit organization focused on supporting the implementation of The Ontario Strategy to Combat Elder Abuse since 2002. Prior to joining EAPO, Marta coordinated the rollout of the 211 Information and Referral Service in Ontario and served as the Executive Director of the Ontario Gerontology Association. Marta also was part of a 2023 delegation from the Canadian Coalition Against Ageism (CCAA) which addressed the United Nations' Open Ended Working Group on Aging (OEWGA), calling for the declaration of a UN convention on the Rights of Older Persons to ensure human rights of older persons are protected.
Job Titles:
- Board Director
- Chairman of the Risk Committee
- Member of Human Resources and Compensation Committee
- Member of the Governance and Nominating Committee
Mary Anne De Monte-Whelan is an experienced corporate finance professional. Her background includes investment banking, equity analysis, corporate banking and risk analysis. She was an Adjunct Professor in Finance at the Rotman School of Management, University of Toronto, and also developed and delivered programs in Finance to international executives with the Executive Education programs at the Schulich School of Business, York University. She has been a speaker/lecturer on international finance and investments to diverse audiences both national and international. Ms. De Monte-Whelan is a past member of the Board of Directors of Youthlink, which also included being Chair of the Finance Committee and a member of the Audit committee; on the Board of Enterprise Ireland Wireless Advisory Board; Chair of the Baby Point Heritage Foundation; and Chair and Founder of the St. Joe's Plate, an annual fundraising event which raises money for mental health at St. Joseph's Hospital. She holds a Master of Business Administration degree from the University of Windsor and a Bachelor of Science degree from the University of Toronto.
Job Titles:
- Program Head, Investor Research and Behavioural Insights
Job Titles:
- Senior Legal Counsel, Investment Management
Job Titles:
- Chairman
- Corporate Finance
- Manager
Job Titles:
- Manager, Registrant Conduct
Detective Constable Michael Payne serves as a police officer in Waterloo Region. A significant portion of his over 26 year career has been victim-focused, investigating offences against seniors and providing education and training regarding elder abuse and financial exploitation. Detective Constable Payne is the chair of the Waterloo-Wellington Elder Abuse Prevention Council and the vice-chairperson of Law Enforcement Agencies and Partners Protecting Seniors.
Job Titles:
- Manager
- Manager, Market Regulation
Job Titles:
- Managing Director and Head, Global Equity Capital Markets, Scotiabank
Job Titles:
- Registrant Law Professional Corporation
Job Titles:
- Acting Chair
- Acting Director
- Acting Director, Investor Office
Job Titles:
- EVP, Head of Private Wealth Management & Financial Planning, TD Bank Group
Job Titles:
- Director, Regulatory Strategy & Research and Chief Economist
Job Titles:
- Retired ( Formerly Managing Director, CIBC World Markets )
Job Titles:
- Manager, Technology Services
Job Titles:
- Chairman
- Director
- Senior Vice President, Investment Management
Job Titles:
- President, Fidelity Investments Canada
Job Titles:
- Manager, Adjudication Legal Services
Job Titles:
- Manager, Business Support
Job Titles:
- Chief Technology Officer - Cloud & Infrastructure
Job Titles:
- Chairman
- Director
- Director, Market Regulation
Tegan Raco - Chief Legal Officer
Job Titles:
- Assistant Hearings Registrar
Job Titles:
- Financial Literacy Specialist
Terri Williams is a financial literacy specialist with more than 30 years of experience in financial services. She held a variety of executive positions including President of the OSC's Investor Education Fund, where she led the development and implementation of financial literacy resources and programs for investors, including seniors. Now retired, Terri consults and volunteers to enhance the financial capability of Canadians and to advocate for seniors. Terri is a former member of IFIC's Vulnerable Investors Task Force.
Job Titles:
- Manager, Investment Fund Manager Team
Job Titles:
- Co - Chair ), British Columbia Securities Commission
- Manager, Mining, Corporate Finance, British Columbia Securities Commission
Job Titles:
- Partner, McCarthy Tétrault LLP
Job Titles:
- Chief Technology Officer, Enterprise Architecture, Applications and Quality Assurance